SEC Proposal to Increase Form 13F Reporting Threshold Draws Scrutiny

On July 10, 2020, the Securities and Exchange Commission (the “SEC”) put forth a proposal to amend the Form 13F reporting threshold from $100 million to $3.5 billion in market value of 13(f) securities. The public will now have 60 days to provide comments prior to any SEC approval.

CEF & BDC Offering

The SEC adopted final rule and form amendments (the “Final Rules”) that modify the registration, offering, and communications processes currently used by registered closed-end management investment companies, including all types of continuously-offered closed-end funds. Read more to learn how the final rules impact your efforts.

SEC Proposal

The SEC proposed a new rule to codify fair valuation requirements for funds registered under the Investment Company Act of 1940. Rule 2a-5 (“Proposed Rule”) would be the first rule that establishes a comprehensive regulatory framework for fair valuing investments in good faith for which there are no readily available market quotations. Read more…

Virtual Advisor Summit: October 29, 2020

CEFA is going to be hosting a Virtual Advisor Series. If you are interested in Sponsoring the event, please email TSullivan@cefa.com.

Content Opportunities

From podcasts to webinars, we offer a range of opportunities for collaboration. Be sure to get on the calendar and take advantage of this insightful member benefit.

Call for Copy

Now is a critical time to communicate with investors and advisors. Send your latest copy to CEFA to feature on CEFA.com. Please submit copy to CEFA@cefa.com.

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